Steven A. Lotito
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Anthony Lotito was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1998. Steven had worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2015 - March 31, 2017
MUFG AMERICAS CORPORATE ADVISORY, INC.
September 25, 1998 - May 7, 2003
ECOBAN SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MUFG AMERICAS CORPORATE ADVISORY, INC.
CRD#: 10151 / SEC#: , 8-26042
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BURNS, CHRISTOPHER WILLIAM | BOARD MEMBER, SECRETARY | 2622449 |
| CHAFETZ, RANDALL CRAIG | BOARD MEMBER | 1747025 |
| CRONIN, KEVIN PETER | PRESIDENT & CEO, CHAIRMAN OF THE BOARD | 2883303 |
| HSU, WEN-CHUAN | CHIEF COMPLIANCE OFFICER | 2572221 |
| MATHIS, CAROL PEDERSEN | CHIEF FINANCIAL OFFICER | 4322657 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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